Certificate in Compliance
Level 3 | Awarded by AGRC & Accredited by LIBF
Summary
- Exam(s) / assessment(s) is included in price
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Overview
Here’s your starting point to a rewarding and successful career in compliance!
Learn the ins and outs of compliance for the financial services industry with LGCA and become a certified professional member of the fastest growing GRC association out there.
Every organization faces a myriad of risks that can threaten its operations, reputation, and bottom line. A robust, effective compliance program can make the difference between companies that successfully navigate those risks, and those that become cautionary tales.
Faced with increasingly regulated environment, this programme offers insight into good compliance practices and the skills to lead effective compliance programmes that supports ethical conduct and commitment to compliance.
Certification
Certificate in Compliance
CPD
Course media
Description
This certificate programme will introduce the essential elements of effective organizational compliance by exploring the concepts, considerations, and strategies for assessing risks and managing the compliance function. You will learn the fundamental principles of effective compliance, the components of an effective compliance program and their applications.
In addition, you will explore the foundational principles of compliance: what are the sources of compliance requirements; where are the requirements found; what behavior satisfies “compliance;” and how do compliance personnel motivate compliant behavior throughout their organization.
Expected Learning Outcomes
By acquiring the Certificate, participants are expected to be able to:
• Comprehend and maintain awareness of compliance requirements
• Organise and monitor the operation of compliance management system
• Implement processes for the management of breaches in compliance requirements
• Provide education and training on compliance requirements and systems
• Promote and liaise on compliance requirements, systems and related issues
• Promote compliance with a sound understanding of the requisite legislation
• Show leadership in the workplace
• Identify risk and apply risk management processes
• Manage projects
• Undertake compliance audits
Certificate Content
Compliance
• Compliance Programs
• Compliance Perspectives
• Why do we Need Compliance?
International Regulatory Landscape
• Key Elements
• Principle based Vs Rules Based Approach
• Market Forces
• Regulation and Practice
Compliance in Practice
• The role of the Compliance department
• The role of the Compliance Officer
• The role of the Board
• Key compliance activities and processes
• Key compliance relationships
Ethics, Compliance and Governance Perspectives
• Ethics
• Compliance
• Governance
Other Key Compliance Areas
• Anti-money laundering
• Financial crime prevention
• Managing risk
• Enforcement
Certificate Format
• Register at any time for this online, open certificate
• Study in your own time and at your own pace (you have up to 3 months to complete the certificate)
• Assessed by online multiple-choice exam
Exam Format
• Type: Multiple choice, closed book online exam
• Duration: Two hours
• Pass mark: 70%
• Number of questions: 100
What is included
• 25 hours of self-paced online interactive learning including analysis of 4 practical case studies
• 1-year free AGRC membership
• Practice Questions
• Online Exam and AGRC Certificate
Who is this course for?
Staff working in or aspiring to work in the compliance area
- New graduates from any discipline
- Staff involved in risk functions and internal or external audit
- Those wanting to build a career in compliance in the fields of: Banking – Insurance – Other financial services
Requirements
No previous knowledge or experience is required though it is assumed that participants have good knowledge of English and sound educational background.
Career path
Compliance Officer, Head of Compliance, Compliance Director
Questions and answers
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Provider
LGCA is a multi-accredited UK learning provider specialising in, but not limited to, the areas of governance, risk, compliance, financial services and cybersecurity.
LGCA is an accredited training partner (ATP) of the Chartered Institute for Securities & Investment (CISI), offering fully online training courses for a great number of CISI qualifications. In addition to the CISI, the LGCA is also an accredited training institution the International Governance & Compliance Association (IGCA), the Association of Accounting Technisians (AAT), the International Association of Privacy Professionals (IAPP), and an accredited training provider of EXIN.
LGCA is part of the European Institute of Management and Finance (EIMF) Group, one of Europe’s leading institutions for certified and executive education, eLearning and bespoke learning solutions in the financial sector. The Group specialises in providing practical & essential knowledge and skills for professionals to excel in their careers and meet the demands of today’s financial sector.
Invested in your future
Our business is financial education, and we are passionate and committed to your personal and professional development in financial services.
Our 200+ specialised courses cover a wide range of subjects, including regulatory compliance, financial crime, risk management, accounting, banking, compliance office skills, taxation, marketing, corporate governance, leadership, law and more.
As well as accredited courses, we provide many vocational and other specific programs to assist in your daily responsibilities and career progression.
Made for tomorrow, relevant today
Whether it is complaints handling or financial crime, compliance monitoring or sanctions updates, MiFIR transaction reporting or blockchain, at the LGCA we have courses designed to accommodate your mode of study and level of ability.
Our faculty of expert trainers are leading specialists in their fields. Their passion for their subjects, practical experience and years of training ensure that you get the most out of the courses; you gain relevant knowledge and practical skills that have a measurable impact on your personal and professional progression.
LGCA is your training partner!
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Legal information
This course is advertised on Reed.co.uk by the Course Provider, whose terms and conditions apply. Purchases are made directly from the Course Provider, and as such, content and materials are supplied by the Course Provider directly. Reed is acting as agent and not reseller in relation to this course. Reed's only responsibility is to facilitate your payment for the course. It is your responsibility to review and agree to the Course Provider's terms and conditions and satisfy yourself as to the suitability of the course you intend to purchase. Reed will not have any responsibility for the content of the course and/or associated materials.
